DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
S•••• • H••••• W••••• M••••••••• L••
Latest filing Aug 31, 2026
First filing on the tape Mar 8, 2012 · 47 filings
SEC status approved since Aug 2, 1999
RAUM
$727M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$720M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$121M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$727M as of Aug 31, 2026
Mar 8, 2012$362M then
HNW client RAUM$675M as of Aug 31, 2026
Feb 23, 2018$462M then
State-registered IARs (5.B.3)6 as of Aug 31, 2026
Mar 8, 20120 then
Employees (5.A)10 as of Aug 31, 2026
Feb 22, 20138 then
Private funds: no history
RAUM +12% over the last fiscal year+15% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Aug 31, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- RAUM per advisor
- $121MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $969,184derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.9%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $529M, 183 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$675M93%
- Individuals$45.1M6.2%
- Charitable organizations$4.8M0.7%
- Corporations and businesses$1.8M0.3%
- Individual clients
- 78reported
- HNW clients
- 139reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 750reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $529M for 183 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• F••• A••••Certified Financial Planner, Personal Financial Specialist | Atlanta, Ga | Mar 18, 2003 | 34 y | 0 |
| R••••• L•••• K••••••• | Atlanta, Ga | Apr 30, 2010 | 25 y | 1 |
| B•••••• D••• S••••••••Chartered Financial Analyst | Atlanta, Ga | Aug 17, 2016 | 27 y | 2 |
| V•••••• J•••••• N••••••Chartered Financial Analyst | Atlanta, Ga | Aug 31, 2016 | 10 y | 1 |
| J•••• B••••••• | Atlanta, Ga | Jan 3, 2020 | 21 y | 0 |
| M•••••• C••••••••• M••••••Certified Financial Planner | Atlanta, Ga | Aug 26, 2021 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- C•••• P••• S••••• to N••• W••••• M••••••••• G••••• L••Jul 20, 2018 · RIA to RIA
- E•••••••• W•••• D•••••• to S••••••••• L••Jul 12, 2017 · Other
- F•••••••• S•••• W••••• to C• B••••••••• P•••••• W•••••Jul 1, 2016 · Other
- M•••••• R••••• D••••• to C• B••••••••• P•••••• W•••••Jul 1, 2016 · Other
- C••••••••• L•• B••••• to C• B••••••••• P•••••• W•••••Jul 1, 2016 · Other
Joined, latest
- E•••••••• W•••• D•••••• from A••••••••• F•••••••• S•••••••• L••May 3, 2017 · Other
- V•••••• J•••••• N•••••• from T••••• A••••••• S•••••••• I•••Aug 31, 2016 · Other
- B•••••• D••• S•••••••• from H••••• • C••• L••Aug 17, 2016 · Other
- R••••• L•••• K••••••• from W•••• F•••• A•••••••Apr 30, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for C• B••••••••• P•••••• W•••••Jul 1, 2016 · Atlanta, Ga · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• T••••••• F••• · President, Chief Compliance Officercontrolsince 06/2016 · owns less than 5%
- S••••••••• B••••••• D••• · Chief Investment Officercontrolsince 07/2019 · owns less than 5%
- T•••••• S•••• C• · Treasurercontrolsince 11/2022 · owns less than 5%
- T•••••••• D•••••• R••••• · Secretarycontrolsince 11/2022 · owns less than 5%
- Z•••••• T••••• T••••• · Ownercontrolsince 12/2021 · owns 75% or more of B•• I• L••
- Z•••••• T••••• T••••• · Managing Membercontrolsince 12/2021 · owns F of B•••• S•• P••••••• G• L••
Entity owners
- S•••• A•• H••••• A••••••• H••••••• L•• · Memberdirect · owns 75% or more
- B•••• S•• P••••••• G• L•• · General Partnerindirect · owns F of B•••• S•• P•••••••• L•
- B•••• S•• P••••••• L•• · Elected Managerindirect · owns F of B•••• S•• P•••••••• L•
- B•••• S•• P•••••••• L• · Ownerindirect · owns 75% or more of B•••••• I•••
- B•• I• L•• · Managerindirect · owns 75% or more of B•• M••••••••• H•••••••• L••
- B•• M••••••••• H•••••••• L•• · Ownerindirect · owns 75% or more of B•••• S•• P••••••• L••
- B•••••• I••• · Ownerindirect · owns 50% to 75% of S•••• A•• H••••• I••••••••• H••••••• L••
- S•••• A•• H••••• I••••••••• H••••••• L•• · Memberindirect · owns 75% or more of S•••• A•• H••••• A••••••• H••••••• L••
Related persons
Schedule D 7.A
- B•••• S•• P••••••• G• L••pooled vehicle sponsorn
- B•••• S•• P••••••• L••investment advisernRAUM $477M
- S•••• • H••••• A••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Atlanta, Ga · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 685 to 750Dec 18, 2024 to Jan 12, 2026
- Charity clients · 5.0 to unsetDec 18, 2024 to Jan 12, 2026
- HNW clients · 131 to 139Dec 18, 2024 to Jan 12, 2026
- Individual clients · 74 to 78Dec 18, 2024 to Jan 12, 2026
- Assets in custody · $476M to $529MDec 18, 2024 to Jan 12, 2026
- Financial planning clients · 101-250 to 101-250Dec 18, 2024 to Jan 12, 2026
- Discretionary RAUM · $647M to $727MDec 18, 2024 to Jan 12, 2026
- HNW RAUM · $603M to $675MDec 18, 2024 to Jan 12, 2026
- Individual RAUM · $37.9M to $45.1MDec 18, 2024 to Jan 12, 2026
- RAUM · $647M to $727MDec 18, 2024 to Jan 12, 2026
- Accounts · 640 to 685Oct 21, 2024 to Dec 18, 2024
- Advisory employees · 7 to 6Oct 21, 2024 to Dec 18, 2024
- HNW clients · 130 to 131Oct 21, 2024 to Dec 18, 2024
- Individual clients · 73 to 74Oct 21, 2024 to Dec 18, 2024
- Assets in custody · $358M to $476MOct 21, 2024 to Dec 18, 2024
- Employees · 11 to 10Oct 21, 2024 to Dec 18, 2024
- State-registered IARs · 7 to 6Oct 21, 2024 to Dec 18, 2024
- Discretionary RAUM · $503M to $647MOct 21, 2024 to Dec 18, 2024
- HNW RAUM · $467M to $603MOct 21, 2024 to Dec 18, 2024
- Individual RAUM · $29.5M to $37.9MOct 21, 2024 to Dec 18, 2024
- RAUM · $503M to $647MOct 21, 2024 to Dec 18, 2024
- Advisory employees · 6 to 7Dec 19, 2023 to Jan 15, 2024
- State-registered IARs · 6 to 7Dec 19, 2023 to Jan 15, 2024
- Accounts · 596 to 640Jan 29, 2023 to Dec 19, 2023
- HNW clients · 127 to 130Jan 29, 2023 to Dec 19, 2023
- Individual clients · 67 to 73Jan 29, 2023 to Dec 19, 2023
- Assets in custody · $353M to $358MJan 29, 2023 to Dec 19, 2023
- Employees · 10 to 11Jan 29, 2023 to Dec 19, 2023
- Discretionary RAUM · $483M to $503MJan 29, 2023 to Dec 19, 2023
- HNW RAUM · $451M to $467MJan 29, 2023 to Dec 19, 2023
- Individual RAUM · $26.4M to $29.5MJan 29, 2023 to Dec 19, 2023
- RAUM · $483M to $503MJan 29, 2023 to Dec 19, 2023
- Accounts · 583 to 596Jan 18, 2023 to Jan 29, 2023
- HNW clients · 112 to 127Jan 18, 2023 to Jan 29, 2023
- Individual clients · 73 to 67Jan 18, 2023 to Jan 29, 2023
- Assets in custody · $301M to $353MJan 18, 2023 to Jan 29, 2023
- Employees · 9 to 10Jan 18, 2023 to Jan 29, 2023
- Discretionary RAUM · $484M to $483MJan 18, 2023 to Jan 29, 2023
- HNW RAUM · $444M to $451MJan 18, 2023 to Jan 29, 2023
- Individual RAUM · $33.1M to $26.4MJan 18, 2023 to Jan 29, 2023
Signals
14 dated events
- S•••• • H••••• W••••• M••••••••• L•• reported RAUM $646.5M, up 29% from $502.5M (2024-10-21 to 2024-12-18)Dec 18, 2024 · RAUM change · derived
- Thomas Tyler Zachem (Owner) appeared on Schedule A of S•••• • H••••• W••••• M••••••••• L••Jan 18, 2023 · Control person joined · fact
- R••••• J••••• T•••••• H••• (Member) no longer on Schedule A of S•••• • H••••• W••••• M••••••••• L•• (listed 2022-12-07, absent 2023-01-18)Jan 18, 2023 · Control person left · inference
- Sean Jason Spitzer (Member) no longer on Schedule A of S•••• • H••••• W••••• M••••••••• L•• (listed 2022-12-07, absent 2023-01-18)Jan 18, 2023 · Control person left · inference
- L Melissa Horne (Member) no longer on Schedule A of S•••• • H••••• W••••• M••••••••• L•• (listed 2022-12-07, absent 2023-01-18)Jan 18, 2023 · Control person left · inference
- Edward Mark Abrams (Member) no longer on Schedule A of S•••• • H••••• W••••• M••••••••• L•• (listed 2022-12-07, absent 2023-01-18)Jan 18, 2023 · Control person left · inference
- Paul Adkinson (Member) no longer on Schedule A of S•••• • H••••• W••••• M••••••••• L•• (listed 2022-12-07, absent 2023-01-18)Jan 18, 2023 · Control person left · inference
- A Marc Azar (Member) no longer on Schedule A of S•••• • H••••• W••••• M••••••••• L•• (listed 2022-12-07, absent 2023-01-18)Jan 18, 2023 · Control person left · inference
- H Marvin Willis (Member) no longer on Schedule A of S•••• • H••••• W••••• M••••••••• L•• (listed 2022-12-07, absent 2023-01-18)Jan 18, 2023 · Control person left · inference
- R••••• J••••• T•••••• H••• (Member) appeared on Schedule A of S•••• • H••••• W••••• M••••••••• L••Jan 27, 2022 · Control person joined · fact
- S•••• • H••••• W••••• M••••••••• L•• reported RAUM $396.2M, down 30% from $565.1M (2020-10-13 to 2021-03-16)Mar 16, 2021 · RAUM change · derived
- Rosner Debbie Torrance (Member) no longer on Schedule A of S•••• • H••••• W••••• M••••••••• L•• (listed 2020-07-14, absent 2020-10-13)Oct 13, 2020 · Control person left · inference
- William John Lucht (Member) no longer on Schedule A of S•••• • H••••• W••••• M••••••••• L•• (listed 2020-01-23, absent 2020-03-03)Mar 3, 2020 · Control person left · inference
- Dale Bradley Swinsburg (Chief Investment Officer) appeared on Schedule A of S•••• • H••••• W••••• M••••••••• L••Jan 23, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- S•••• • H••••• W••••• M••••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 404-874-6244reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/smith-howard-wealth-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S••••H•••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 404-874-6244reportedpublic record, Form ADV, Aug 31, 2026
- Contact form
- smithhowardwealth.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $121Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026